BRF

B. Riley Financial Portfolio holdings

AUM $120M
This Quarter Return
+19.35%
1 Year Return
+51.73%
3 Year Return
-28.67%
5 Year Return
+51.76%
10 Year Return
–
AUM
$232M
AUM Growth
+$232M
Cap. Flow
+$80.7M
Cap. Flow %
34.74%
Top 10 Hldgs %
92.29%
Holding
63
New
12
Increased
4
Reduced
8
Closed
21

Top Buys

1
FRG
Franchise Group, Inc.
FRG
$95.3M
2
ECC
Eagle Point Credit Co
ECC
$3.07M
3
PBPB icon
Potbelly
PBPB
$1.9M
4
NKLA
Nikola Corporation Common Stock
NKLA
$568K
5
LACQ
Leisure Acquisition Corp.
LACQ
$521K

Top Sells

1
VSI
Vitamin Shoppe Inc.
VSI
$6.56M
2
NFINU
Netfin Acquisition Corp. Unit
NFINU
$3.09M
3
LONE
Lonestar Resources US Inc. Class A Common Stock
LONE
$2.38M
4
LSAK icon
Lesaka Technologies
LSAK
$1.45M
5
CLW icon
Clearwater Paper
CLW
$1.29M

Sector Composition

1 Industrials 63.91%
2 Consumer Discretionary 13.17%
3 Financials 11.18%
4 Technology 4.45%
5 Energy 2.16%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
EMKR
26
DELISTED
Emcore Corp
EMKR
$304K 0.08%
+100,000
New +$304K
UTZ icon
27
Utz Brands
UTZ
$1.15B
$257K 0.06%
+25,000
New +$257K
ALTG icon
28
Alta Equipment Group
ALTG
$264M
$250K 0.06%
+25,000
New +$250K
HFRO
29
Highland Opportunities and Income Fund
HFRO
$341M
$249K 0.06%
+20,000
New +$249K
HHS icon
30
Harte-Hanks
HHS
$26.3M
$233K 0.06%
65,000
+20,000
+44% +$71.7K
BRMK.WS
31
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
$209K 0.05%
+550,000
New +$209K
RNWK
32
DELISTED
RealNetworks Inc
RNWK
$180K 0.05%
150,000
+100,000
+200% +$120K
FNJN
33
DELISTED
Finjan Holdings, Inc.
FNJN
$101K 0.03%
50,000
– –
DXLG icon
34
Destination XL Group
DXLG
$70M
$35K 0.01%
27,000
– –
BRPM.WS
35
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
$20K 0.01%
24,200
– –
GCVRZ
36
DELISTED
Sanofi Contingent Value Rights
GCVRZ
– –
-256,219
Closed -$144K
VG
37
DELISTED
Vonage Holdings Corporation
VG
– –
-22,600
Closed -$255K
VSI
38
DELISTED
Vitamin Shoppe Inc.
VSI
– –
-1,006,000
Closed -$6.56M
TIVO
39
DELISTED
Tivo Inc
TIVO
– –
-25,000
Closed -$190K
TLRD
40
DELISTED
Tailored Brands, Inc.
TLRD
– –
-150,000
Closed -$660K
CNXM
41
DELISTED
CNX Midstream Partners LP
CNXM
– –
-35,000
Closed -$494K
FTACU
42
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-19,817
Closed -$212K
NFINU
43
DELISTED
Netfin Acquisition Corp. Unit
NFINU
– –
-306,100
Closed -$3.09M
NFINW
44
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
– –
-22,992
Closed -$7K
PIC.U
45
DELISTED
Pivotal Investment Corporation II Units, each consisting of one share of Class A common stock and on
PIC.U
– –
-25,000
Closed -$255K
GWPH
46
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
0
– –
TRIT
47
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-19,600
Closed -$191K
SREV
48
DELISTED
ServiceSource International, Inc.
SREV
– –
-110,000
Closed -$97K
TA
49
DELISTED
TravelCenters of America LLC
TA
– –
-20,000
Closed -$247K
LOV
50
DELISTED
Spark Networks SE American Depositary Shares
LOV
– –
-37,566
Closed -$208K
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